What Did Your Brokerage Firm or Investment Adviser Do Wrong With GWG
Published On: July 14, 2016

The Financial Industry Regulatory Authority (FINRA) public records state that Joseph Zenker, registered representative with Raymond James, has received settled or pending customer complaints. Customers have alleged that Zenker breached his fiduciary duty, acted negligently, breached contract, made unsuitable investment recommendations, misrepresented and omitted material facts, committed fraud and violated Louisiana Blue Sky Law, among other transgressions. These are all against securities laws and regulations. Zenker was registered with NYLife Securities in New York, New York from February 1996 until November 1999, The Equitable Life Assurance Socirty of the United States in New York from November 1999 until January 2000, AXA Advisors in New York from November 1999 until August 2001 and Citigroup Global Markets in Nashville, Tennessee from August 2001 until April 2009. He is currently registered with Raymond James in Nashville and has been since March 2009. He has four customer disputes, one of which is currently pending.

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